Our Staff has compiled our research into a database of FINRA Broker Disclosures for Pruco Securities, Llc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| David Myron Etheridge | 5966876 | 1 | 02/24/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joel Paul Erikson | 2959020 | 4 | 02/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David A Yaffee | 4251517 | 1 | 02/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Scott Arteca | 4550695 | 7 | 02/09/2017 | Customer Dispute | Withdrawn | $95,070.00 | $0.00 | See FINRA Report |
| William Keith Johnson | 2455741 | 3 | 02/03/2017 | Customer Dispute | Settled | $28,500.00 | $0.00 | See FINRA Report |
| James Neal Turner | 2068968 | 1 | 01/30/2017 | Customer Dispute | Withdrawn | $75,000.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 01/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Lee Becker | 7110921 | 1 | 01/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Valentine Hoffmann | 6107256 | 3 | 01/24/2017 | Customer Dispute | Settled | $29,715.00 | $0.00 | See FINRA Report |
| Avelino Correia Andrade | 1129061 | 3 | 01/23/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |